Search results
Showing 341 to 350 of 448 search results for published Primary Market Bulletin.
-
The Financial Conduct Authority (FCA) makes senior appointments to drive its transformation
Nikhil Rathi, Chief Executive of the FCA since October 2020, has now made four further appointments to the FCA’s executive team. -
TR19/4: Understanding the money laundering risks in the capital markets
We carried out this thematic review to look at the money-laundering risks and vulnerabilities in the capital markets and, where possible, to develop case studies to help inform the industry. -
FCA planning reform of the listing regime to boost growth and competitiveness
The FCA sets out its vision to attract more high quality, growth companies to the UK -
PS22/11: Improving the Appointed Representatives regime
We set out the final rules for the Appointed Representative regime to enhance consumer protection. We also respond to feedback to CP21/34 -
Transforming to a forward-looking, proactive regulator
Speech by our CEO, Nikhil Rathi, delivered at the FCA’s Our Role and Business Plan webinar. -
FCA response to the independent panels’ annual reports
In line with its statutory requirement, the FCA responds to key representations made by the Panels in their respective Annual Reports. -
Information on insider dealing and breaches of the FCA Handbook - May 2022
The FCA provides information on Number of people sanctioned, fined, reprimanded or excluded for breaching FCA Handbook Rules and insider dealing. -
The expanding scope of individual accountability for corporate misconduct
Speech by Mark Steward, Director of Enforcement and Market Oversight at the FCA, delivered at the New York University Program on Corporate Compliance and Enforcement -
Investor relations in an increasingly regulated and international world
Speech by David Lawton, Director of Markets, the FCA, to the Investor Relations Society Annual Conference, on 18 June 2013. -
Improving the Appointed Representatives regime through greater use of data
This publication includes data from the FCA's 2021 and 2022 data requests sent to principal firms and authorisation information collected from firms. It also outlines how the FCA is improving the Appointed Representatives’ Regime (AR) regime and